Overview:
In Regulatory Operations, you will help ensure accurate and timely non-financial regulatory reporting across NA regimes, partnering with Legal, Compliance, Technology and Operations. You will drive data integrity, automate processes, and apply AI-led analytics to strengthen controls and scalability. This role supports risk management and regulatory reform initiatives, with a focus on improving compliance rates and cross-functional collaboration. You will contribute to strategic programs that enhance reporting quality and reduce risk while working in a global, growth-focused environment. Compensation / Benefits benefits, wellness and personal finance offerings mindfulness programs training and development opportunities
Responsibilities:
Perform risk-aware, time-sensitive regulatory reporting with accuracy and completeness Develop expert knowledge of regulatory requirements, processes and systems for multiple non-financial regimes in North America Analyze data daily, pursue issue resolution, and drive process improvements Investigate, remediate and provide supervisory guidance on report issues and enhance controls Collaborate with Engineering and Operations to ensure data integrity and complete reporting Assess impact of new markets, products, reorganizations, system changes and regulations on reports Drive process improvements and automation, leveraging AI-led analytics to boost accuracy and scalability Contribute to strategic initiatives from ideation to implementation with Technology and business stakeholders Coordinate with Legal, Compliance, Technology and other groups on change programs and issue resolution Act as a risk manager for regulatory adherence and be flexible to support other group activities
Key requirements:
Bachelor’s degree 2-3 years in financial or business industry preferred Experience in audit/analysis, compliance, business support, daily processing or risk management Proficiency in MS Office and data analytics tools (e.g., Alteryx) with experience using AI solutions (e.g., Copilot) Analytical thinker with ability to translate strategy into execution Strong problem solving and documentation skills; ability to understand complex workflows Experience with securities trading flows, regulatory obligations, and project/JIRA management (preferred) Proactive, enthusiastic, team-oriented; accurate, detail-focused; good time management and risk awareness Ability to think strategically and contribute to department-wide initiatives Experience with data analysis, Regulatory Reporting, trading flows and compliance (preferred) Proactive ownership Team-oriented collaboration Strong written and verbal communication MS Office Alteryx AI solutions (Copilot)
